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In this editionQuestions Solutions

June - 2007to

December - 2016Duly incorporated in

chapters.

June - 2007to

June - 2016Duly incorporated in chapters

December - 2016Solutions Attached

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Preface to Solved Scanner______________________________

Dear Readers,

It gives us immense pleasure & satisfaction to present the “Solved Scanneron Capital Markets and Securities Laws”. As a student, we always felt theneed of a simple but exam-oriented help-book on this subject. It encouragedus to share our experiences with the readers through Solved Scanner.

This book is not only a compilation of answers of the questions, butanswers are written only, as per the comments of examiners and in a mannerso as to serve as help book also. The twenty fourth edition, inter alia havefollowing un-parallel features;• The questions asked in last 20 attempts (upto December 2016 are

scanned and arranged as per study module of ICSI.• Each chapter starts with Short Notes, Distinguish Between, Descriptive

Questions & in last Practical Questions.• The answer of question is divided under suitable headings like:-

Meaning, Features, Regulated by, Significance.• A graph is given at the beginning of every chapter, showing weightage

of each chapter & various types of questions asked.We are really thankful to all those professionals & dear students who

always inspired & encouraged us.We thankfully acknowledge the co-operation received from everyone at

Shuchita Prakashan, the Publisher, for presenting the book in fine-print &excellent get-up in record time.

Finally, we shall be glad to receive the views, comments, criticism &suggestions from the readers for further improvement of this book, which willbe acknowledged in the succeeding editions.

Wishing Grand Success

Prof. Arun Kumar

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CS. CA Rajiv SinghPraise for Solved Scanner

Solved Scanner is like a cup of tea for exams and without it we can’t getsuccess in minimum time.

Roop Chand Kochar, Jodhpur

Solved Scanner is the honest approach towards the requirements andacquaintances of the probable questions and important topics forpreparation of the professional courses like CA or CS. It motivate thestudents to work harder in right direction with confidence and acts as asupport and confidence booster.

Sushil Kumar, Patna

Solved Scanner is the best and the most important book for the preparationof any professional examination. According to my view, without the help ofSolved Scanner, preparation by any student is incomplete. Solved Scannerand its contents make every student fully prepared for examinations.

Manisha Singhania, Jaipur

Solved Scanner is a helpful friend which tells us how to go through thesyllabus and prepare well for examination.

Ansh Sharma, Delhi

Without Solved Scanner, nobody can pass the professional exams. It is agreat book. Thank you for giving it.

B. Satish Krishan, Coimbatore

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Green EditionCS Executive Programme Module - II

(New Syllabus)Paper 6 - Capital Markets and Securities Laws

Editors:Prof. Arun Kumar CS. CA Rajiv SinghM.Com., D.Phil., AMT (AIMA), M.COM, UGC-NET,ISO Lead-Auditor (UK), CISA (USA) Fellow Chartered Accountant,Professor, DISA (ICAI)Motilal Nehru Institute of Research Associate Company Secretary& Business Administration, ICAI, ICSI,University of Allahabad, New Delhi Allahabad

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Information _________________________________________________ Solved Scanner is published in India by Shuchita Prakashan (P) Ltd.25/19, L.I.C. Colony, Tagore Town, Allahabad 211002.Editor-in-chief : Mrs. Anjali'Solved Scanner' is registered trade mark of Shuchita Prakashan (P) Ltd.Copyright © of the content is exclusive property of the authors Prof. ArunKumar and CS. CA Rajiv Singh.Trade mark 'Scanner' is being lent to the content provided by the authorsunder exclusive arrangement for publication of the content by the owner oftrade mark 'Shuchita Prakashan (P) Ltd'.Trade mark 'Scanner' cannot be used by any otherperson/organisation/agency with the content of this book or otherwise.First edition : January 2009Twenty fourth edition : January 2017

"Scanner is a living document and is being updated after everyexamination since its inception"Every effort has been made to avoid errors or omissions in this publication.Inspite of this, errors may creep in. Any mistake, error or discrepancy notedmay be brought to the notice to the publisher or authors which shall be takencare of in the next edition. It may however, be noted that neither thepublisher nor the authors or seller will be responsible for any damage or lossof action to any one, of any kind, in any manner, therefrom. It is suggestedthat to avoid any doubt, the reader should cross-check all the facts, laws andcontents of the publication with original publication or notification.

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Contents___________________________________________

Paper - 6 Capital Markets and Securities Laws

Chapter Name PageNo.

Study Material Based Contents 6.3 Syllabus 6.5 Examination Trend Analysis 6.8 Line Chart Showing Relative Importance of Chapters 6.14 Table Showing Importance of Chapter on the Basis of Marks 6.15 Legends for the Graphs 6.17 Formula Table 6.181. Overview of Capital Market 6.192. Capital Market Instruments 6.313. Credit Rating and IPO Grading 6.574. Market Infrastructure Institutions - Stock Exchange Trading

Mechanism 6.735. Debt Market 6.1226. Money Market 6.1387. Mutual Funds 6.1628. Alternative Investment Fund 6.1939. Collective Investment Schemes 6.205

10. Resource Mobilisation in International Capital Market 6.21811. Indian Depository Receipts 6.24512. Foreign Portfolio Investors 6.25913. Non-Convertible Redeemable Preference Shares 6.26914. Real Estate Investment Trusts 6.27515. Infrastructure Investment Trusts 6.28716. Regulatory Framework Governing Stock Exchanges 6.301

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17. Securities and Exchange Board of India 6.30818. Depositories

6.32419. Listing and Delisting of Securities 6.34320. Issue of Securities 6.37221. Regulatory Framework Relating to Securities Market

Intermediaries 6.43622. Insider Trading - An Overview 6.46823. Takeover Code - An Overview 6.49724. Investor Protection 6.512 Question Paper of June, 2015 6.530 Question Paper of December, 2015 6.533 Question Paper of June, 2016 6.536 Question Paper of December, 2016 6.539 List of Rating Symbols 6.544 List of Regulations 6.548

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xiii

Shri Ramashankar Singh

and

Smt. Sunita Singh

Dedicated To________________________________________________________

My Parents

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Solved Scanner CS ExecutiveProgramme Module-II ( New Syllabus )Paper-6 Capital Markets and Securities

Laws Green Edition (Dec-2016)

Publisher : Shuchita Prakashan ISBN : 9789351593973Author : Prof. Arun Kumar &CS. CA Rajiv Singh

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